Stephen M. Puckowitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Mark Puckowitz was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 16, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2022 - August 8, 2024
DINOSAUR FINANCIAL GROUP, L.L.C
August 16, 2011 - February 19, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 9, 2008 - August 19, 2011
OSAIC WEALTH, INC.
April 19, 2004 - September 28, 2006
MORGAN STANLEY & CO. LLC
January 29, 1997 - April 28, 2004
CIBC WORLD MARKETS CORP.
January 29, 1993 - January 22, 1997
BREAN MURRAY & CO., INC.
July 8, 1991 - January 19, 1993
INVESTMENT PARTNERS, INC.
March 13, 1990 - April 19, 1991
UBS SECURITIES LLC
January 29, 1988 - February 26, 1990
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/23/2006
Limited Representative-Equity Trader ExamCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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